Extensive research, consulting, and opinion work involving FINRA arbitration cases regarding Reg BI.
Review of complex conflicts of interest in dual RIA and Broker Dealer selling proprietary private placement funds.
Impact of hybrid investmentcompanies with both a Broker Dealer and RIA. Application and analysis of Reg BI and Fiduciary RIA standards.
Private Placements and Delaware Statutory Trusts offered as pooled investment funds by Crypto Asset Managers. Investments include start-ups in the NFT, DeFi, and Cryptocurrency asset space.
Review of the Investment Advisor Act of 1940 and accredited investor opinions regarding retail clients as defined by Reg BI.
Estate settlement dispute involving offshore investment banking, FBAR reporting, and multi-decade transactional discovery material with complex assets.
Establishing the responsibility of banks in a multi-million dollar fraud due to lack of proper and prudent operational oversight.
Viatical insurance investment private placement involving gross misrepresentation and ongoing investigation to determine if the investment plan was, in fact, a Ponzi scheme.
ESOTERIC ADVISORS IS NOT A LAW FIRM. ESOTERIC ADVISORS, ALONG WITH ITS CONSULTANTS, DOES NOT PROVIDE TAX OR LEGAL ADVICE. IT IS RECOMMENDED THAT TAX AND LEGAL ADVICE BE SOUGHT FROM A QUALIFIED PROFESSIONAL.
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